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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2018-02-08 |
| KY | RA | APPROVED | 2001-11-09 |
Branch Locations
771 Corporate Dr Ste 640, Lexington, KY 40503-5440 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lexington | KY | 10/2001 | Present |
(1) 07/08/2014: RING FINANCIAL SERVICES LLC - DBA for LPL Business (entity for LPL business) - Ring Financial Services LLC - INV REL - Start 07/01/2014 - 771 Corporate Dr, STE 640, Lexington, KY 40504 - No other businesses or services are advertised under this name. Everything remains exactly the same as it currently is, only change is moving from a sole prop to a LLC. - 160 Hr/Mo; 6 Hours During Securities Trading (2) 06/30/2016: Evergreen Heights Farm, LLC - Business Entity For Tax/Investment Purposes Only - INV REL - Start 02/10/2016 - The LLC is established in Nebraska, but we use my Lexington office for mailing: 771 Corporate Dr., STE 640, Lexington, KY 40503 - Farm Cash Rent - 1 Hr/Mo; 0 During Securities Trading Hours - Business Entity For Tax/Investment Purposes Only (3) 05/01/2023 - FSG - Financial Strategies Group, LLP - Insurance Agency - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/07/2022 - 8 Hours Per Month/ 2 Hours During Trading (4) 07/21/2023 - Keepsake, Inc. - Investment Related - At Reported Business Location(s) - Real Estate Rental - Owner - Start Date 06/22/2023 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1987-11-24 |
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